Laws and Regulations Terms

  1. Katie Couric Clause

  2. Large Trader

  3. Legal Lending Limit

  4. Legal Rate Of Interest

  5. Legend

  6. Legislative Overkill

  7. Letter Of Comment

  8. Letters Patent

  9. Lilly Ledbetter Fair Pay Act

  10. Limited Power Of Attorney - LPOA

  11. Liquidated Damages

  12. Listing Requirements

  13. Locked Market

  14. Loophole

  15. Loss Disallowance Rule - LDR

  16. Maintenance Margin

  17. Malfeasance

  18. Market Capitalization Rule

  19. Market Performance Committee

  20. Markets in Financial Instruments Directive - MiFID

  21. Master-Servant Rule

  22. Material Insider Information

  23. Mechanic's Lien

  24. Mineral Rights

  25. Minimum-Interest Rules

  26. Misappropriation Theory

  27. Multijurisdictional Disclosure System - MJDS

  28. National Association Of Securities Dealers - NASD

  29. National Market System Plan - NMSP

  30. National Treatment

  31. NCUA-Insured Institution

  32. Nevada Corporation

  33. No-Shop Clause

  34. Non-Covered Security

  35. Non-Disclosure Agreement - NDA

  36. Non-Negotiable

  37. Non-Open Market

  38. Non-Resident

  39. Nonfeasance

  40. Nonresident Alien

  41. Notice Filing

  42. Novation

  43. Office Of Thrift Supervision - OTS

  44. Oil Pollution Act Of 1990

  45. Ombudsman

  46. Ontario Securities Commission - OSC

  47. Open-Market Transaction

  48. Option Schedule

  49. Options Backdating

  50. Options Clearing Corporation - OCC

  51. Order Protection Rule

  52. Organic Act of the Department of Labor

  53. Over-The-Counter Bulletin Board - OTCBB

  54. Patent

  55. Patent Reexamination

  56. Periodic Payment Plan Certificate

  57. Poop

  58. Power Of Attorney

  59. Power of Attorney of Property

  60. Pre-Syndicate Bid

  61. Preliminary Prospectus

  62. Preparer Tax Identification Number - PTIN

  63. Price Cap Regulation

  64. Primary Exchange

  65. Principal-Agent Relationship

  66. Private Securities Litigation Reform Act – PSLRA

  67. Pro-Tanto

  68. Promissory Estoppel

  69. Proxy Statement

  70. Prudent Investor Act

  71. Prudent Investor Rule

  72. Prudent-Person Rule

  73. Public Offering

  74. Pujo Committee

  75. Punitive Damages

  76. Qualified Domestic Relations Order - QDRO

  77. Qualified Institutional Buyer - QIB

  78. Quiet Filing

  79. Quiet Period

  80. Quiet Title Action

  81. Rate Of Return Regulation

  82. Recourse

  83. Registered Investment Advisor - RIA

  84. Registrar

  85. Regulation 9

  86. Regulation A

  87. Regulation AA

  88. Regulation B

  89. Regulation BB

  90. Regulation C

  91. Regulation CC

  92. Regulation D - Reg D

  93. Regulation DD

  94. Regulation E

  95. Regulation EE

  96. Regulation F

  97. Regulation Fair Disclosure - Reg FD

  98. Regulation G

  99. Regulation H

  100. Regulation I

Hot Definitions
  1. Valuation

    The process of determining the current worth of an asset or company. There are many techniques that can be used to determine value, some are subjective and others are objective.
  2. Valuation

    The process of determining the current worth of an asset or company. There are many techniques that can be used to determine value, some are subjective and others are objective.
  3. Tech Street

    A term used in the financial markets and the press to refer to the technology sector. Companies like Intel, Microsoft, Apple and Dell are all considered to be part of Tech Street.
  4. Tech Street

    A term used in the financial markets and the press to refer to the technology sector. Companies like Intel, Microsoft, Apple and Dell are all considered to be part of Tech Street.
  5. Momentum Investing

    An investment strategy that aims to capitalize on the continuance of existing trends in the market. The momentum investor believes that large increases in the price of a security will be followed by additional gains and vice versa for declining values.
  6. Momentum Investing

    An investment strategy that aims to capitalize on the continuance of existing trends in the market. The momentum investor believes that large increases in the price of a security will be followed by additional gains and vice versa for declining values.
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